UNITED STATES of America, Plaintiff-Appellee, v. Arthur Charles SMITH, aka Marvon Anderson, Defendant-Appellant.
No. 13-6322.
United States Court of Appeals, Sixth Circuit.
Sept. 16, 2014.
590
BOGGS, Circuit Judge.
Before: BOGGS and DONALD, Circuit Judges; and HOOD, District Judge.*
AFFIRMED.
Before: BOGGS and DONALD, Circuit Judges; and HOOD, District Judge.*
BOGGS, Circuit Judge.
This case presents the question whether a conviction for common-law robbery under North Carolina law is categorically a “crime of violence” under
I
On April 23, 2013, Arthur Smith pleaded guilty, without a plea agreement, to: robbing a pharmacy, in violation of
A. Presentence Report
Smith‘s presentence report1 determined that
Additionally, the presentence report determined that
The presentence report noted that
The presentence report determined that Smith‘s criminal history qualified him as a “career offender” under
The presentence report detailed Smith‘s extensive criminal history, noting dozens of prior convictions, pending charges, and other arrests. The report noted that most prior convictions did not qualify for criminal-history points, largely because they were too old or insubstantial according to the Guidelines Manual. Importantly, the presentence report identified two prior convictions qualifying Smith as a “career offender” under
Smith objected to the presentence report‘s classification of him as a career offender. Specifically, Smith argued that his North Carolina conviction for common-law robbery did not qualify as a “crime of violence” within the meaning of
B. Sentencing
On September 30, 2013, United States District Judge Amul R. Thapar held a sentencing hearing. At sentencing, Smith renewed his previously raised objection to the career-offender designation. Smith argued that his North Carolina robbery conviction was not a “crime of violence” under the Manual. After extensive oral argument on the issue, the district court overruled Smith‘s objection. The district court also issued a cogent written opinion on the issue, ordering the clerk to docket an appeal on Smith‘s behalf once judgment issued.2 See United States v. Smith, Crim. No. 13-5-(3)-ART (E.D.Tenn. Sept. 30, 2013), ECF No. 74. First, the court held that North Carolina common-law robbery is not categorically a “crime of violence” under
The district judge conducted a thorough discussion with counsel about the
On appeal, Smith argues that North Carolina common-law robbery does not constitute a “crime of violence” under
The crime-of-violence issue is important because were Smith not sentenced as a career offender, his sentence would be significantly lower than the 262-month sentence that he received.
II
We review de novo a district court‘s legal conclusions underlying the guideline range chosen. United States v. Bolds, 511 F.3d 568, 579 (6th Cir.2007); see, e.g., United States v. Rodriguez, 664 F.3d 1032, 1035 (6th Cir.2011) (de novo review of whether aggravated assault, under Ohio law, qualified as a “crime of violence“).
III
A. Career Offender
The Guidelines Manual instructs sentencing courts, when calculating a defendant‘s guideline range, to determine the offense-guideline section applicable to the offense of conviction.
At issue in this case is the third condition—whether Smith has two prior felony convictions that count as predicate offenses. Smith‘s presentence report lists numerous prior criminal convictions, two of which served as predicate offenses for career-offender purposes. In 2008, Smith was convicted in South Carolina state court of possession of a controlled substance, with the intent to distribute; possession of methamphetamine; and possession of heroin. In 1999, Smith was convicted in North Carolina state court of common-law robbery.
Smith argues that the North Carolina conviction cannot count as a predicate offense because it is not a “crime of vio
At sentencing, the district court overruled Smith‘s objection to counting the North Carolina conviction because the district court concluded that the offense qualified as a “crime of violence” under
B. “Crime of Violence”
The Guidelines Manual itself defines “crime of violence.” A “crime of violence” is any crime punishable by a term of imprisonment greater than one year that “[1] has as an element the use, attempted use, or threatened use of physical force against the person of another; or [2] is burglary of a dwelling, arson, or extortion, involves use of explosives, or [3] otherwise involves conduct that presents a serious potential risk of physical injury to another.”
The Manual‘s definition of “crime of violence” closely tracks the definition of “violent felony” in the Armed Career Criminal Act (ACCA). See
Under North Carolina law, common-law robbery is “the felonious, non-consenual taking of money or personal property from the person or presence of another by means of violence or of fear.” State v. Bell, 359 N.C. 1, 603 S.E.2d 93, 117 (2004) (emphasis added); accord State v. Smith, 305 N.C. 691, 292 S.E.2d 264, 270 (1982); State v. Lawrence, 262 N.C. 162, 136 S.E.2d 595 (2004). The North Carolina Supreme Court has held that a state court may convict for common-law robbery by proving either violence or fear. State v. Sawyer, 224 N.C. 61, 29 S.E.2d 34, 37 (1944) (“[I]t is not necessary to prove both violence and putting in fear[-]proof of either is sufficient.“).
North Carolina common-law robbery is not “burglary of a dwelling, arson, or extortion, [and it does not] involve[e the] use of explosives.”
C. The Residual Clause
1
A prior conviction qualifies as a “crime of violence” under the Manual if it “involves conduct that presents a serious risk of physical injury to another.”
In order to determine whether an offense qualifies as a predicate under the residual clause, courts must compare the elements of the prior offense of conviction with the elements contained in the residual clause. Courts must ask “whether the elements of the offense are of the type that would justify its inclusion within the residual provision, without inquiring into the specific conduct of the particular offender.” James v. United States, 550 U.S. 192, 202, 127 S.Ct. 1586, 167 L.Ed.2d 532 (2007) (emphasis in original). Here, the “pivotal question” is whether taking money or property from the person or presence of another by means of violence or fear is conduct that presents a serious risk of physical injury to another. Id. at 203.
Certain penal laws are what the Supreme Court calls “divisible” offenses because they “se[t] out one or more elements of the offense in the alternative.” Descamps v. United States, 570 U.S. 254, 133 S.Ct. 2276, 2281, 186 L.Ed.2d 438 (2013). When a state “list[s] potential offense elements in the alternative,” it “renders opaque which element played a part in the defendant‘s conviction.” Id. at 2283. The Court gave, as an example of a “divisible” statute, one “stating that burglary involves entry into a building or an automobile.” Id. at 2281.
Under this understanding, common-law robbery under North Carolina law is a divisible offense because it “comprises multiple, alternative versions of the crime.” Id. at 2284; see United States v. Covington, 738 F.3d 759, 764 (6th Cir.2014) (Michigan prison-escape statute divisible under Descamps because it “lists several, alternative ways to violate the statute“); United States v. Hockenberry, 730 F.3d 645, 669 (6th Cir.2013) (Pennsylvania burglary statute divisible under Descamps because it “lists alternative elements in the statutory text“). A person commits common-law robbery in North Carolina when he non-consensually takes “money or personal property from the person or presence of another by means of violence or fear.” Bell, 603 S.E.2d at 117 (emphasis added). Because the crime has alternative elements, common-law robbery under North Carolina law, is, as the district court correctly concluded, a divisible offense.
In order to compare the elements of an offense to those in the residual clause, courts employ what the Supreme Court has “labeled (not very inventively) the ‘modified categorical approach.‘” 4 Des-
As explained above, common-law robbery under North Carolina law is a divisible offense. Consider two alternatives of the elements provided by the North Carolina Supreme Court. One version requires taking money or property from a person by means of violence. Another requires taking money or property from a person by means of fear. In order for North Carolina common-law robbery categorically to be a “crime of violence” under the Guidelines Manual, we must conclude that both alternative sets of elements—taking by means of violence and taking by means of fear—present a serious risk of physical injury to another. See, e.g., United States v. Mitchell, 743 F.3d 1054, 1065-66 (6th Cir.2014). Smith does not argue that taking money or property by means of violence does not present a serious risk of physical injury to another. Our focus, then, is whether accomplishing the robbery by means of fear presents a serious risk of physical injury to another.
The North Carolina Supreme Court has interpreted the word “fear” as an element of robbery. In State v. Moore, the defendant in a robbery case argued that the evidence was insufficient to support his conviction because the victim testified “that he ‘was not scared or in fear of (his) life.‘” 279 N.C. 455, 183 S.E.2d 546, 547 (1971). The North Carolina Supreme Court interpreted “fear” expansively: it noted that the word “fear” in the definition of common-law robbery “is not confined to fear of death” and that common-law robbery does not require “the use or threatened use of a firearm or other dangerous weapon.”5 Although fear of death is not necessary, the state supreme court has contemplated that “fear” refers to fear of bodily injury:
No matter how slight the cause creating the fear may be or by what other circumstances the taking may be accomplished, if the transaction is attended with such circumstances of terror, such threatening by word or gesture, as in common experience are likely to create an apprehension of danger and induce a man to part with his property for the
sake of his person, the victim is put in fear.
State v. Sawyer, 224 N.C. 61, 29 S.E.2d 34, 37 (1944) (emphasis added) (internal quotation marks omitted); accord State v. Elkins, 210 N.C.App. 110, 707 S.E.2d 744, 748 (2011).
Based on the North Carolina Supreme Court‘s interpretation of “fear,” Smith argues that North Carolina common-law robbery covers conduct that does not present a serious risk of physical injury. Surely Smith is correct that the offense definition could cover some conduct that does not present a serious risk of physical injury. One can imagine a robbery that reasonably places a person in fear yet does not present a serious risk of physical injury. Smith argues that “fear does not have to be [fear] of physical injury.”6 Yet the law is just the opposite: a person must be in fear “for the sake of his person.” Sawyer, 29 S.E.2d at 37. Taking money or property from the person or presence of another by placing that person in fear of bodily injury, then, does generally present a serious risk of physical injury to another.
Our conclusion would not be different even if Smith were correct that the element of fear in North Carolina common-law robbery did not require fear of physical injury. He, cleverly, offers examples of robbery by means of “fear of losing a job” and “fear of financial ruin.” These kinds of robberies are, indeed, conceivable: “Give me your money, or else I‘ll tell my uncle to fire you!” and “Give me your money, or else I‘ll expose your Ponzi scheme!” These hypotheticals, though perhaps the stuff of law-school exams, are not the basis of the analysis. There are, of course, ways of committing robbery that do not “pose a realistic risk of confrontation or injury to anyone.” James, 550 U.S. at 207. But the Supreme Court has held that analysis under the residual clause, even when the analysis addresses a portion of a divisible statute, rests on “inherently probabilistic concepts.” Ibid. “[T]he proper inquiry ... is whether the conduct encompassed by the elements of the offense, in the ordinary case, presents a serious potential risk of injury to another.” Id. at 208 (emphasis added). We think that, in the ordinary case, robbing someone by means of placing him in fear for his person does present a serious risk of physical injury. Here, the mere possibility that a person could, conceivably, commit the offense without creating a serious risk of physical injury to another is insufficient to move North Carolina common-law robbery outside the residual clause.
Additionally, focusing on exceptional, hypothetical cases is a misapplication of the modified categorical approach. We have sometimes said that “[i]f it is possible to violate the statute in a way that would constitute a crime of violence and in a way that would not, the court may consider the indictment, guilty plea, or similar documents to determine whether they necessarily establish the nature of the prior conviction.” Gibbs, 626 F.3d at 352. In light of recent Supreme Court decisions, we clarify that this is not quite right. “One can always hypothesize unusual cases in which even a prototypically violent crime might not present a genuine risk of injury.” James, 550 U.S. at 208.
2
In light of the difficulties presented by analysis under the residual clause,7 our circuit has at times reached varying results about whether various state theft offenses qualify as crimes of violence. In United States v. Mekediak, we held that the crime of unarmed robbery under
Our analysis of Tennessee‘s robbery laws, however, has produced contradictory results in recent years. In a series of cases, we have interpreted two Tennessee robbery statutes —both of which list violence or fear as alternative elements—to determine whether convictions under them may serve as predicate offenses under the Manual and under the ACCA:
First, in United States v. Gloss, a published opinion, we held that facilitation of aggravated robbery under Tennessee law—which requires that the crime be accomplished “with a deadly weapon or by display of an article used or fashioned to lead the victim to reasonably believe it to be a deadly weapon” or where “the victim suffers serious bodily injury“— is a “violent felony” under the ACCA. 661 F.3d 317, 318-19 (6th Cir.2011). That decision rested squarely on the physical-force clause—not the residual clause. See id. at 318, 320 (“not deciding] whether the [offense] also qualifies under the residual clause“). Second, in United States v. Fraker, an unpub
The following year, in United States v. Johnson, another unpublished opinion, we considered convictions under the substantively identical but now-repealed
These prior decisions do not control whether common-law robbery under North Carolina law is a crime of violence. But the decision we reach is generally consistent with our own prior published decisions. We note that North Carolina‘s definitions of robbery and of “fear” are similar to Tennessee‘s. Our holding is limited to construing the offense of common-law robbery under North Carolina law. Every state statute, for better or worse, presents a different case when determining whether it qualifies as a crime of violence under the residual clause. ACCA decisions do not control beyond the specific statute under consideration in the jurisdiction issuing the ruling.
3
The decision we reach is also consistent with opinions from other circuits, including
The district court may have incorrectly suggested that that we are bound by the Fourth Circuit‘s determination about whether a conviction under the law of a state within its jurisdiction qualifies as a crime of violence. At sentencing, the district court asked Smith‘s counsel: “And you agree that the Fourth Circuit [opinion in Carmichael] is controlling unless the Supreme Court says otherwise?“; and “Why isn‘t [the Fourth Circuit] binding at the very least[?]” We clarify that whether an offense qualifies as a crime of violence under the Manual or as a violent felony under the ACCA “is a question of federal law, not state law.” Johnson, 559 U.S. at 138; accord Mitchell, 743 F.3d at 1058; United States v. Rede-Mendez, 680 F.3d 552, 556 (6th Cir.2012) (“[W]hether a crime is a crime of violence is a question of federal law.“). Just as we are not bound by a state high court‘s interpretation of federal law, so too are we not bound by another circuit‘s decision. A circuit opinion concerning a state law from within its jurisdiction may be especially instructive, though reason might also suggest taking a different course. To be sure, “[w]e are, however, bound by the [North Carolina] Supreme Court‘s interpretation of state law, including its determination of the elements” of common-law robbery. Johnson, 559 U.S. at 138; accord Johnson v. Fankell, 520 U.S. 911, 916, 117 S.Ct. 1800, 138 L.Ed.2d 108 (1997) (No “federal tribunal has any authority to place a construction on a state statute different from the one rendered by the highest court of the State.“).
IV
Smith also argues, as he did below, that the Sixth Amendment prohibits judicial factfinding of a defendant‘s prior convictions for the purpose of increasing a sentence. Smith correctly acknowledges that Supreme Court law forecloses his argument. “[T]he Constitution does not impose th[e] requirement.... that [a defendant‘s] recidivism must be treated as an element of his offense.” Almendarez-Torres v. United States, 523 U.S. 224, 247, 118 S.Ct. 1219, 140 L.Ed.2d 350 (1998). The fact of prior conviction, even if it increases the maximum penalty for a crime, does not need to be “charged in an indictment, submitted to a jury, and proven beyond a reasonable doubt.” Apprendi v. New Jersey, 530 U.S. 466, 476, 120 S.Ct. 2348, 147 L.Ed.2d 435 (2000). Smith argues that Almendarez-Torres should be overruled. “[W]e must follow [Almendarez-Torres] until the Supreme Court expressly overrules it.” United States v. Mack, 729 F.3d 594, 609 (6th Cir.2013).
Smith states that he raises the Almendarez-Torres claim solely to preserve the issue. It is so preserved.
V
The North Carolina Supreme Court interprets “fear” in its robbery statute to refer to fear of bodily injury. Apart from this, the conduct encompassed by robbery by means of fear, in the ordinary case, involves fear of bodily harm. In light of this, we conclude that common-law robbery under North Carolina presents a serious risk of physical injury to another and, thus, categorically is a crime of violence under
